Vulnerability as a multi-faceted phenomenon : a GIS-based data model for integrated development planning, environmental management and disaster risk reduction

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Vulnerability as a multi-faceted

phenomenon: A GIS-based data model for

integrated development planning,

environmental management and disaster

risk reduction

ID Jansen van Vuuren

22548580

Thesis submitted for the degree Doctor Philosophiae in

Development and Management at the Potchefstroom Campus

of the North-West University

Promoter:

Prof D van Niekerk

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ACKNOWLEDGEMENTS

I thank the Lord Almighty for having given me the ability, insight and strength to undertake the research and complete this thesis. Next, I owe my heartfelt thanks to my loving family, to my lovely wife Ingrid who has always stood by me with encouragement, support and understanding, and to my children, Nico and Yolande. To you I devote this thesis.

I wish to thank my promoter, prof. Dewald van Niekerk for encouraging me to undertake this research. His willingness to listen to ideas, his wholehearted support, his comments and positive feedback proved to be an enormous encouragement. Support was also received from the African Centre for Disaster Studies, headed by prof. Van Niekerk. Thank you Dewald, and colleagues from the ACDS, for involving me in your programmes, as this provided me with a unique opportunity to expand my research horizon. I also wish to thank prof. Per Becker from Lund University in Sweden, and the Swedish Foundation for International Cooperation in Research and Higher Education for the grant given to ACDS and Lund University for exchange of postgraduate students. This provided me with the opportunity to conduct research at Lund University.

Recognition and thanks are due to my partner, Lourens du Plessis, for his encouragement and for understanding when I was not in the office, writing this thesis. I was also abundantly supported by business colleagues in my field of work. A special word of gratitude goes to Ms Marieta Thornhill, environmental specialist, who was always willing to share her knowledge and contribute to my study with her insights. To Mr Paul Claassen, the father of Environmental Management Frameworks in South Africa – thank you for the great deal of support I received from you, and for the books I could borrow from you, Paul.

Lastly, my sincere thanks goes to Ms Isabel Claassen, who did the language editing of this thesis. She did an excellent job, not only in correcting grammatical errors, but also in improving the text.

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ABSTRACT

People and the surrounding environment are affected by development. In striving to improve their livelihoods, people have through their development activities and exploitation of natural resources contributed to the degradation of the environment. The environment is seen as the totality of the biosphere within which anthropological and ecological activities take place. These activities are influenced by forces of nature, and in some events referred to as hazards, which can cause disruption, injury and loss of life. This premise forms the basic concept of disaster, to which people and the environment react from a position of vulnerability.

Vulnerability is multi-faceted construct that is primarily associated with social conditions. It relates to concepts of development planning and environmental management from a causal as well as a preventative perspective. Since disaster risk reduction has become the key focus of mankind’s reaction to disasters, the concept of vulnerability has also become a key focus for research, and has linked various research communities, particularly those involved in disaster risk management, climate change adaption and development research in a multi-disciplinary research environment.

Socio-economic developments inspired mainly by the Second World War have since the 1940s focused research attention on development planning and disaster risk management. Hazards-based research made way for a focus on vulnerability research so as to reduce disaster risk. At the same time, an increased focus on development planning triggered a shift in philosophy away from a procedural rational planning approach to strategic, communicative planning. Disaster risk reduction along the lines of development planning has seen the emergence of a multi-disciplinary approach to vulnerability research. An apparent increase in disaster-related losses and environmental degradation has nonetheless changed people’s thoughts and alerted them to the unsustainability of the course of development. With the introduction of the Bruntland Report in 1987, the concept of sustainable development was introduced as a long-term environmental strategy.

Sustainable development objectives have created a focus on the human–environment system and an understanding of relationships between anthropological and ecological entities. A special interest in spatial patterning and the geographic distribution of organisms has led to the development of landscape ecology as a study of spatial patterns

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and ecological processes. A need to capture environmental criteria in a computerised spatial database emerged in the 1960s, and gave rise to the development of geographic information systems (GIS) technology. GIS-based thinking about how the real world can be presented in various conceptualisations of data structures, led to the development of GIS science (GIScience). The latter was based on research by Michael Goodchild who seeks to redefine geographic concepts and their use in the context of geographic information systems. Hence GIS should be defined as a data-processing tool, as opposed to the popular view of a map-making tool. By approaching GIS from an information system perspective that includes the development of conceptual, logical and physical data models, a platform is provided for the integration of spatial-based disciplines such as development planning, environmental management and disaster risk management.

A synthesis of the theoretical foundation of these three disciplines shows commonalities in terms of a multi-disciplinary approach, as well as a concern for the environment and for social upliftment based on sustainable development principles. They also share a strong spatial orientation, which provides for GIS technology to serve as an entry point for the integration of these disciplines. The aim of the current research was therefore to develop a GIS-based data model that would address the landscape-based relationships between spatial entities from a database design point of view. The model is founded on the principles of database design, specifically the concept of entity-relationship modelling. It also incorporates basic Boolean logic to identify the functioning of an entity in its landscape setting as either acceptable or unacceptable. This concept supports the analysis of environmental sensitivity and disaster risk from the level of small geographic units, thereby enabling vulnerability reduction efforts at a local scale.

The research in hand was useful to define and investigate the theoretical grounding of development management, environmental management, disaster risk reduction and geographic information systems, as well as to identify their common focus areas. An analysis of GIS technology and the development of a data model provided a focus on database development as the key for providing an information-based entry point and integration of development management, environmental management, disaster risk management. A case study for an area near Richards Bay, where development affected a wetland by increased vulnerability to flooding, has proven the GIS-based data model to be valuable as a tool that can be implemented to reduce vulnerability through informed and improved planning practices.

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SAMEVATTING

In sy strewe na ontwikkeling beïnvloed die mens sy omgewing. Die omgewing word beskryf as die omvattende biosfeer waarbinne menslike en natuurlike sisteme funksioneer. Deur die ontrekking van natuurlike hulpbronne, en die voortdurende strewe om sy lewenstandaard te verbeter, het daar reeds grootskaalse agteruitgang in die omgewing begin plaasvind. Menslike aktiwiteite is onderhewig aan kragte in die natuur, sommige waarvan as bedreigings beskou word, wat ontwrigting, besering en verlies van lewe kan meebring. Hierdie beskouing vorm die basiese konsep van ‘n ramp. Die mens en die omgewing se reaksie op rampe vind plaas vanuit ‘n posisie van kwesbaarheid.

Kwesbaarheid is ‘n veelvlakkige konsep wat hoofsaaklik met sosiale omstandighede verband hou. Dit hou verband met ontwikkelingsbeplanning en omgewingsbestuur vanuit ‘n reaktiewe, sowel as ‘n voorkomende perspektief. Ramprisikobestuur is gefokus op die vermindering van risiko, teenoor bloot voorkomende aksie om rampe af te weer. In die lig hiervan is navorsing op die vermindering van mense se kwesbaarheid gefokus. Hierdie benadering bring verskillende navorsingsgemeenskappe bymekaar, veral die in die veld van klimaatsverandering en ontwikkelingsbestuur. ‘n Hoofkenmerk is die multi-dissiplinêre aard van die navorsing.

Sedert die Tweede Wêreldoorlog word sosio-ekonomiese ontwikkeling met ‘n fokus op onwikkelingsbeplanning en ramprisikobestuur vereenselwig. Waar navorsing eers op bedreigings gefokus was, het die fokus na risikobestuur en die verlaging van die mens se kwesbaarheid teenoor rampe verskuif. Terselfdertyd het daar in die beplanningsgemeenskap ‘n fokusverskuiwing plaasgevind, weg van rasionele, prosesgedrewe beplanning, na deelnemende strategiese beplanning. Dit het die multi-dissiplinêre benadering tot navorsing oor kwesbaarheid verder versterk. Met die toenemende bewustelikheid van die kwesbaarheid van die omgewing, en die agteruitgang wat met ontwikkeling gepaard gaan, het die besef van die onvolhoubaarheid van ontwikkelingspraktyke al hoe sterker geword. Met die bekenstelling van die Bruntlandverslag in 1987, het die konsep van volhoubare ontwikkeling as ’n langtermyn doelwit al hoe sterker geword.

Kennis van die onderliggende verwantskappe tussen menslike en natuurlike sisteme het al hoe belangriker begin word, namate die doelwitte van volhoubare ontwikkeling tot die voorgrond begin getree het. ‘n Spesifieke belangstelling in ruimtelike verwantskappe en

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patrone, en die verspreiding van organismes, het die die ontwikkeling van landskap-ekologie aanleiding gegee. Dit fokus op die studie van ruimtelike patrone en landskap-ekologiese prosesse. Die behoefte om hierdie prosesse en omgewingsaspekte in gerekenariseerde ruimtelike databasisse vas te lê, het saam met die ontwikkeling van rekenaartegnologie ontwikkel. Dit het tot die ontwikkeling van tegnologie rondom geografiese inligtingstelsels (GIS) aanleiding gegee. ‘n GIS-gebaseerde benadering tot die voorstelling van verskynsels op aarde, en verwante datastrukture, het tot die ontwikkeling van ‘n GIS wetenskap aanleiding gegee. Die fondasie vir die ontwikkeling van die wetenskap is deur die werk van Michael Goodchild gelê, wat daarop ingestel is om geografiese konsepte en die toepassing daarvan in die konteks van GIS te herdefinieer. Gevolglik behoort GIS eerder in terme van dataprosessering gedefinieer te word, as wat dit as ‘n werksmiddel beskou word om bloot kaarte te maak. GIS behoort vanuit die perspektief van inligtinstelsels benader te word. Hierdie perspektief sluit die ontwikkeling van konsepsuele, logiese en fisiese datamodelle in, wat ‘n platvorm vir die integrasie van ontwikkelingsbeplanning, omgewingsbestuur en ramprisikobestuur bied.

‘n Sintese van die teoretiese onderbou van die drie dissiplines dui op sekere gemeenskaplikhede wat afgelei kan word uit die multi-dissiplinêre aard daarvan, sowel as ‘n gemeenskaplike benadering tot omgewingsbewaring en sosiale opheffing, wat in die beginsels van volhoubare ontwikkeling saamgevat is. Daar is ook ‘n sterk verband ten opsigte van ‘n ruimtelike oriëntering. Dit bepaal dat GIS tegnologie as ‘n vertrekpunt beskou kan word, ter wille van die integrasie van die dissiplines. Die doel van hierdie studie is om ‘n GIS gebaseerde data model te ontwikkel wat op die verwantskap tussen menslike en natuurlike entiteite, soos dit in ‘n landskap funksioneer, ingestel is. Die model dra ‘n sterk fokus op databasisteorie, spesifiek die konsep van entiteitsverwantskap modellering. Dit steun ook op beginsels van Booleaanse logika, wat die funksionering van entiteite in ‘n landskap as aanvaarbaar of onaanvaarbaar kan aandui. Die koppeling word gemaak aan geografiese entiteite wat op die kleinste moontlike skaal as ruimtelike eenhede vasgelê word. Op hierdie wyse kan die kwesbaarheid van sosiale en ekologiese komponente as eenhede in die landskap aangespreek word.

Die waarde van hierdie studie kan gesien word in die ondersoek van die teoretiese fundering van ontwikkelingsbeplanning, omgewingsbestuur en ramprisikobestuur, sowel as geogragiese inligtingstelsels. Die belangrikheid om onderliggende gemeenskaplikehede te bepaal, word uitgelig. ‘n Beskrywing van GIS tegnologie, en die ontwikkeling van ‘n datamodel, dui op databasisontwerp as die sleutel om ‘n

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gemeenskaplike vertrekpunt tussen die drie dissiplines te bepaal. Die waarde van die datamodel word deur ‘n gevallestudie in Richardsbaai geïlustreer. Die gebied word deur ‘n sensitiewe ekologie en blootstelling aan oorstromings gekenmerk, gepaardgaande met die druk op ontwikkeling en uitbreiding van menslike aktiwiteite. In die opsig bewys die datamodel as ‘n waardevolle hulpmiddel om die kwesbaarheid van menslike en ekologiese sisteme uit te wys.

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KEYWORDS

Data model Development

Development planning Disaster risk

Disaster risk reduction Ecology

Environmental management Framework

Geographic Information systems (GIS) Hazard Landscape Planning Resilience Sustainable development Vulnerability vii

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ACRONYMS

ACDS African Centre for Disaster Studies

BSU Basic Spatial Units

CSD United Nations Commission on Sustainable Development CSIR Council for Scientific and Industrial Research

DAEARD Department of Agriculture, Environmental Affairs and Rural Development. DFID UK Department for International Development

DRR Disaster Risk Reduction

EAP Environmental Assessment Practitioner

EIA Environmental Impact Assessment

EMF Environmental Management Framework

EMP Environmental Management Plan

EU European Union

GIS Geographic Information Systems

GIScience Geographic Information Science GAP Geospatial Analysis Platform

GDARD Gauteng Department of Agriculture and Rural Development GVA Gross Geographic Value Added

IEM Integrated Environmental Management IDP Integrated Development Planning

IDZ Industrial Development Zone

MAUP Modifiable Area Unit Problem MCDA Multi-Criteria Decision Analysis MDGs Millennium Development Goals

NEMA National Environmental Management Act (Act 107 of 1998) NEPA (United States) National Environmental Policy Act

NFSD National Framework for Sustainable Development NRC (United States) National Research Council

NSSD National Strategy for Sustainable Development and Action Plan OED Oxford English Dictionary

RIA Rapid Impact Assessment

SANBI South African National Biodiversity Institute

SDF Spatial Development Framework

SEA Strategic Environmental Assessment SoER State of the Environment Reports

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TFL Tobler’s First Law

UN United Nations

UNEP United Nations Environment Programme

UN/DESA United Nations Department of Economic and Social Affairs

UN/ISDR United Nations Inter-Agency Secretariat of the International Strategy for Disaster Reduction

US United States of America

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Figure 8.2: The integration of anthropological and ecological activities in the functioning of the landscape ... 205 Figure 8.3: An ecosystem – human system framework expressed in the form of an ER diagram ... 206 Figure 8.4: Entity relationships between anthropological and ecological units in the landscape ... 207 Figure 8.5: Example of a compound table that can be joined with a spatial database ... 208 Figure 8.6: An example of the iterative process of data processing to create spatial data at geo-atom level. ... 212 Figure 8.7: Two iterations of the join table. ... 212 Figure 8.8: Extract of the attribute table of the land cover GIS feature, showing the join table. ... 213 Figure 8.9: Map according to the values in table (a) of Figure 8.7. ... 214 Figure 8.10: Map according to the values in table (b) of Figure 8.7. ... 214 Figure 8.11: Map showing the results of a compound query with the land cover value included. ... 215 Figure 9.1: Increased need for information sharing in planning models ... 221 Figure 9.2: A framework for GIS science ... 225 Figure 9.3: A framework for the integration of development planning, environmental management and disaster risk management ... 227

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LIST OF TABLES

Table 5.1: The principle of set theory explained in terms of GIS datasets ... 151 Table 5.2: Conclusive list of universal analytical GIS operations ... 163 Table 6.1: Input data layers with illustrative weighting values ... 190 Table 7.1: Integration matrix showing commonalities between development planning, environmental management and disaster risk management... 197 Table 9.1: Summary of research objectives and related chapters ... 219 Table 9.2 Summary of key findings ... 225

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CHAPTER 1:

ORIENTATION AND PROBLEM STATEMENT

1.1 INTRODUCTION

Development of the living space by humans is an everyday activity that has been taking taken place since the beginning of time. As the human population increased, and so the extent of its economic activities, the living space has expanded, with an inevitable impact on and shrinkage of the natural environment (Singh, 2006). The living space of people, and so the people themselves, are exposed to the energy of natural events that are associated with atmospheric or geological cycles, and hence result in a disaster situation when the magnitude of the event surpasses their ability to absorb the impact (Cannon, 1990).

The research community’s wide interest in disasters and disaster-related topics is confirmed by the plethora of studies on vulnerability, hazards, mitigation, preparedness and recovery, as is evident in the collected work of Rodriguez, Quarantelli and Dynes (2006). Vulnerability is a primary interest of this study as it relates to concepts of development planning and environmental management. It is a multi-faceted construct and difficult to assess because of its dynamic nature (Birkmann et al., 2013).

The above premises are explored in this study as the background to development planning, environmental management and disaster risk management. James Lewis states that development is the necessary inevitable (Lewis, 1999:xi). However, continued land use and land-cover change (Turner, 1997), which have caused large-scale environmental degradation (UNISRD, 1994; Renaud, 2006) and global climate change (IPCC, 2014), have forced mankind to take note of the unsustainability of its development practices. In reaction, the World Commission on Environment and Development (WCED) published a report titled Our Common Future in 1987, which called for sustainable development as a long-term environmental strategy (Ling, 2012). This was followed by a number of international summits. In 1992 the United Nations Framework Convention on Climate Change, the so-called Earth Summit, took place in Rio de Janeiro, associated with a declaration of principles and desired actions (Agenda 21) as an implementation action plan for sustainable development. The World Summit on Sustainable Development subsequently took place in Johannesburg in 2002 and focused on the effects of climate change. In 2005, the World Conference on Disaster Reduction was held in Hyogo, Japan, 1

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where the present Framework for Action 2005-2015: Building the Resilience of Nations and Communities to Disasters report was drafted (UN, 1992; UN-ISDR, 2005).

The Hyogo Framework for Action adopts a strategic and systematic approach to reducing vulnerabilities and risks to hazards. It also calls for the development and implementation of information systems, particularly Geographic Information Systems (GIS). GIS, as an information technology, has gained much attention for its application in disaster risk management (Miletti, 1999), but also in development planning and environmental management (Barrow, 2006; Green, 2010). It is increasingly being utilised as a tool to support decision making. However, it is often regarded as mainly a map-making tool, and its use in decision making is therefore limited to the production of maps (Jansen van Vuuren, 2013).

This study aims to develop a GIS-based data model that can be applied in development planning, environmental management and disaster risk management as a spatial analysis and decision support tool. An earlier publication by the author that also resulted from the current research presents a GIS-based framework for rapid disaster impact assessment. This framework proved to be valuable in the decision to declare a disaster after a series of wild fires in the Tlokwe Municipality in 2012 (Jansen van Vuuren, 2013).

The proposed data model will demonstrate its value in an improved methodology to capture the spatial relationships between geographical entities on the grounds of their integral functions and interrelationships. The model should be useful in the furthering of vulnerability reduction. It will also (for example) be possible to model the relationship between a house and a floodplain in terms of the intricate function of the house and of the floodplain, based on the compatibility of their respective functions in the landscape.

This chapter serves as an introduction to the study and provides the reader with an orientation to past and current approaches, followed by a problem statement. This will be followed by stating the research objectives and central theories, while a description of the research method will outline the approach taken in this study. The chapter is concluded with an overview of the contribution of the study, followed by explanation of the structuring of the thesis into nine chapters and a conclusion that will guide the reader into the next chapter.

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1.2 ORIENTATION AND PROBLEM STATEMENT

Vulnerability is an indicator of disaster risk (Blaikie et al., 1994; Lewis, 1999; Turner et al., 2003a;2003b; Bankoff, Frerks & Hilhorst, 2004; ISDR, 2004; Kienberger, Lang & Zeil, 2009). It reflects the reality of what makes people and environmental assets susceptible to hazards (ISDR, 2004). The concept of vulnerability has emerged from continuing research on risks and hazards and has been brought to the fore by climate change studies (Turner et al., 2003a; Kienberger et al., 2009; Prabhakar, Srinivasan & Shaw, 2009). It has emerged as a multi-faceted concept, realising the complexity of physical, social, economic and environmental conditions at hand (Blaikie et al., 1994:21; Coppola, 2007:148; ISDR, 2002:46).

Vulnerability can be defined in many ways, but it mostly underpins aspects of susceptibility of a receiving environment to the impacts of hazards (Blaikie et al., 1994:9; Lewis, 1999:4; ISDR, 2002:46; Turner et al., 2003a; Wisner, Blaikie, Cannon & Davis, 2004:97). Oliver-Smith (2004:10) describes vulnerability as a political-ecological concept that focuses on the relationship between people and the environment in which they live. From a disaster risk perspective, he describes vulnerability as “the conceptual nexus that links the relationship that people have with their environment to social forces and institutions and the cultural values that sustain or contest them”. The concept of vulnerability is therefore seen as providing a theoretical framework that encompasses the multi-dimensionality of disasters.

Underlying vulnerability is the combination of relationships within a given situation, where a combination of social conditions and environmental forces may or may not result in a disaster (Oliver-Smith, 2004:10). Exploring the totality of relationships ultimately involves related concepts between socio-economic (developmental) sciences on the one hand and environmental sciences on the other hand, thereby promoting a strong interdisciplinary approach. Research is therefore focused on the status of and relation between human settlement and environmental (biophysical) systems, particularly referred to as a “coupled human-environment system” (Turner et al., 2003a). This interaction is illustrated in Figure 1.1.

The concept of physical vulnerability is rooted in material goods and considers aspects of location and the built environment (ISDR, 2004: 68). Linked to this is the aspect of social and economic environments, where the social component is linked to the level of wellbeing of individuals, communities and society. Such wellbeing, in turn, is influenced by

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economic status – under certain conditions poor communities may be more vulnerable than affluent communities. The environmental component refers to natural resources and the way in which these are threatened by developmental expansion. In this context, the pressure on ecological systems in terms of pollution and physical destruction represents elements that shape environmental vulnerability. The natural environment can be considered as the receiving environment of development, while developmental factors are inclusive of physical, social and economic conditions.

Figure 1.1: Interaction of vulnerability factors

Source: ISDR (2004)

Lewis (1999:40) states that development objectives should “take an integral account of hazards and of disaster probability”. The apparent failure to implement this norm is echoed by Van Niekerk (2010:65) who states that “there has been a widespread failure to recognise and address the ways in which changes in land use, settlement policies, population distribution and the attendant degrading of habitats dramatically increase hazard exposure and vulnerability, and ultimately increase the risk of disasters”. The commonalities between development planning and environmental management are further highlighted by a number of other authors such as Renaut (2006), Kelly (2010), Haigh and Amaratunga (2010), Kaplan, Renaud and Lüchters (2009), ISDR (2004), and McEntire (2007). Stakeholders in the development-planning and environmental management arena are becoming more involved in the management of risk and vulnerability reduction (UN-ISDR, 2002:4). The urgency of research in this field is

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highlighted by the UN-ISDR (2004:4), stating that "the relationships between human actions, environmental stewardship, climate change, and disaster risks are becoming ever more crucial".

Analysis of vulnerability considers a number of questions such as: who is vulnerable to what and what is the spatial pattern thereof? To answer these questions, Turner et al. (2003b) propose a conceptual framework that accounts for the vulnerability of coupled human–environment systems. The emergence of vulnerability assessment within such a framework is further described by Renaut (2006) and Kienberger et.al (2009) where the use of geographical information systems as a spatial analysis tool in particular comes to the fore.

Mora and Keipi (2006:157), Kaplan et al. (2009) and ISDR (2004) describe the link between development planning, environmental management and disaster risk management as functions where the one should take the other into consideration. This holistic approach is imperative if healthy and safe environments are to be provided for people wherever they live – in cities, towns or rural villages. In this regard, Hardoy, Mitlin and Satterthwaite (2001:2) identify certain goals that settlements have to meet to be successful in providing safe environments. These goals include the provision of water supply, sanitation, waste management and health services as essential service delivery. They also include the wider context of natural resources and exploitation thereof and the demand for sustainable relationships between the demands of consumers to draw from ecosystems and the way in which they draw their resources.

The goal of achieving an ecologically sustainable relationship between the built environment and the natural environment puts development and conservation into the equation of disaster risk reduction, meaning that disaster risk reduction becomes a function of development planning and environmental management (Randolph, 2004:203). This is echoed by Hardoy et al. (2001:3) who state that understanding the links between the built environment and the physical environment is essential if environmental hazards are to be minimised. Lewis (1999:xi) describes development as “the necessary inevitable”, but also as an “appropriate vehicle for vulnerability and disaster reduction”.

Whereas disaster risk reduction is a function of government as well as communities (Randolph, 2010; Haigh & Amaratunga, 2010), some institutional capacity is required to act as a vehicle for communication and implementation. Hardoy et al. (2001:3) describe the need for political and administrative systems that will take up the views and priorities 5

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of communities, through which policies can be put into place and that will ensure that actions are carried out in response to community needs. Such administrative arrangements should also be imbedded in legal systems that safeguard citizens’ rights to basic services and a healthy living environment. Lewis (1999:5) echoes this viewpoint by referring to a social, institutional and political responsibility to protect communities from the causes of disasters. Efforts to remove or alleviate those causes, give rise to the concept of institutional capacity.

Otim (2006) links vulnerability to institutional capacity. According to him, the realities of natural disasters such as hurricanes that occur regularly, and the way in which they are managed, still reveal “institutional vulnerability and inadequacy of decision models to confront large-scale disasters”. A key aspect of institutional capacity is the use of information systems to inform decision makers and policy makers. Margetts (1999) describes how information systems have brought government to the ‘ante-postmodernist’ era, becoming a vital part of the state. The power of information systems is demonstrated in the fact that they can take over and reshape the organisational role of government. Whereas this viewpoint is described from a Western perspective, referring to Britain and America, Cavric (2002) describes the apparent failure of information systems and in particular Geographical Information Systems (GIS) in developing countries. According to him there is a dire need for research to address “the problem of human familiarisation and organisational frameworks in which newly established GIS units [are] supposed to function”.

The use of Geographic Information Systems (GIS) as a tool to analyse and visually represent a range of variables, attributes and phenomena is described by Bankoff et al. (2004:45). Van Deursen, Wesseling and Karssenberg (2000) sketch a picture of GIS and Information Technology (IT) specialists who are regarded as technologists on the one hand and end-users who are domain experts on the other hand. GIS specialists have knowledge of and control over the technology to develop applications for users in various fields. The end-users (domain experts) are allowed access to these applications to fulfil various tasks, such as entering new data and retrieving information. This kind of access is limited to the degree in which the application has been designed to allow for such functions. Understanding the technical aspects of the technology, the GIS expert will know how to exploit its powers to the full extent and will often try to allow for the maximum functionality without knowledge of the application field (Van Deursen et al., 2000). Further problems with regard to GIS applications relate to operational aspects such as data

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capturing, visualisation and data management (Van Oosterom, Zlatanova & Fendel, 2005) which often result in the technology not being implemented (Cavric, 2002).

On the other hand, domain experts study their particular problem areas and are not directly involved in the development of GIS applications (Van Deursen et al., 2000). Due to the described situation, GIS tools tend to become intimidating to the extent that users will often revert back to their traditional methods. Instead of gaining access to these technologies, domain experts will then continuously have to rely on the GIS experts to make changes to or develop new tools (Van Deursen et al., 2000). In this regard, McEntire (2004:17) warns against an over-reliance on computer technology since it “may make us vulnerable to complicated and cascading disasters”.

These apparent problems with the use of GIS and the domain of information technology at large require that further attention be given to the drivers of disaster risk reduction. The Global Assessment Report on Disaster Risk Reduction (2009) describes three underlying drivers of disaster risk, i.e. vulnerable rural communities, poor urban governance and declining ecosystems. Recognising the inherent link between the environment and disasters, the Disaster Environment Working Group for Asia (DEWGA) undertook a study to identify available resources that link environmental management with disasters and risk reduction efforts (Asian Disaster Management News, 2009). One of the objectives of the study is to “[r]aise awareness of the intersections of environment, disasters and development and thereby provide a practical and common basis for practitioners from various sectors to discuss and agree on concrete plans and activities to advance mainstreaming”. This implies a functional connection between the three disciplines of environmental management, disaster management and development planning. DEWGA identifies the following three strategic entry areas for integration:

i. Environment-development convergence ii. Disaster-development convergence iii. Environment-disaster convergence

These strategic entry areas should ideally be integrated to such an extent that all three of them converge at a single entry point, as is illustrated in Figure 1.2.

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Figure 1.2: The integration of related disciplines conceptualised as different focus areas and a single entry point

Source: Asian Disaster Management News (July-December 2009)

The significance of a central entry point is that it provides a holistic point of departure and gives an overall background from where a particular focus area could be further explored. Given the potential of information technology in disaster risk reduction (Hiltz, Van de Walle & Turoff, 2010: 16), it can be argued that geographic information system technology may provide that holistic point of departure that would ultimately strengthen the integration of the related disciplines. The need for research in this regard is implied by the International Union of Geodesy and Geophysics’ Commission on Geophysical Risk and Sustainability (2010), which inter alia recommends that

“[m]ultidisciplinary and multinational research programs and research networks on geophysical hazards and risks be developed in all countries prone to natural hazards including those of the Caribbean region and Latin America in order to integrate diverse data streams, to improve understanding of the natural phenomena associated with the disasters, to develop predictive modelling capability, and to generate and to disseminate timely and accurate information needed by decision makers and the public.”

The researcher has an interest in this study because of his involvement in Geographical Information Systems (GIS) over the past 25 years, during which he has applied this technology in various projects relating to development planning, environmental

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management and disaster risk management. The type of projects include development plans on a local and regional level, environmental management frameworks, environmental impact studies and disaster risk assessments. The GIS component of these projects includes two perspectives, i.e. design and application. It involves GIS database design and a wide array of applications such data capture, data processing, spatial analysis, and mapping. A further interest in education and research has also inspired this study. The researcher is associated with the African Centre for Disaster Studies at the North-West University and has published research work in the accredited Jamba Journal of Disaster Risk Studies in 2006 and 2013. The research undertaken for the latter publication forms part of the current research and informs components thereof.

Development planning, environmental management and disaster risk management have in common the need for information and the spatial representation thereof by using geographical information systems technology. This interest frames the research focus shown in Figure 1.3 as a triangle connecting the three application fields, with GIS in the centre as an integrating factor.

The present research is aimed at the development of a data model based on geographical information technology, which will serve as an entry point for vulnerability assessment. The research will be focused on the aspect of vulnerability as it is fundamentally embedded in functions relating to disaster risk management, environmental management and development planning. The research will be carried out with a view to integrating these disciplines in as far as the use and the processing of spatial data is concerned.

The research will be carried out by studying the interrelationships between the disciplines mentioned above and indicating their dependence on common data sources and data features. The validity of this data model will be tested within the Southern African context, as well as in selected overseas countries, including developed and developing countries.

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Figure 1.3: The research focus shown as a triangle connecting the fields of interest

1.2.1 Problem statement

According to the National Education, Training and Research Needs and Resources Analysis Report (NDMC, 2010), the reduction of vulnerability has become the focal point in disaster risk management practice and research. This report describes a number of issues that constitute the agenda for further research. These issues take account of aspects relating to development planning and information technology, and include the following (NDMC, 2010:16-18):

i. There is a need for more trans-disciplinary and interdisciplinary research to reduce the fragmented and reductionist approach to disaster risk management.

ii. Disaster risk reduction principles and policy have a limited influence on integrated development planning. (This is aspect is also highlighted by Hoogstad and Kruger (2008).)

iii. There is an urgent need for DRM officials to develop an understanding of development planning to ensure that the disaster management function has its intended statutory impact.

iv. There is a need for an IT research and development programme specifically focused on disaster risk reduction and management.

v. Standardised systems for Disaster Management are lacking.

vi. Communities should participate actively and meaningfully in risk reduction. vii. There is a need for the sharing of baseline information on the SA risk profile.

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These issues remind of the commonalities between development planning, environmental management and disaster risk management, which have been described above. These disciplines are characterised by a plethora of tools assisting in various activities relating to planning, checking and acting (Nel & Kotze, 2009; Koua et al., (2010). For example, development planning is assisted by Spatial Development Frameworks (SDFs), Integrated Development Plans (IDPs), environmental management by Environmental Impact Assessments (EIAs), strategic environmental assessments (SEAs), disaster risk management by Disaster Management Plans (DMPs) and disaster risk assessments (DRAs). The apparent failure to integrate these tools in disaster risk management – as described by Hoogstad and Kruger (2008), the National Disaster Management Centre (2010) and Van Niekerk (2010) – highlights the need for an alternative approach to interdisciplinary research. Such an approach draws on the universal premises between these disciplines and goes beyond close collaboration between domain specialists (Barrow, 2006:4). One such universal premise or common theme is the use of information. Given the challenges with regard to the use of information technology and in particular GIS in disaster risk management, as described above, it is postulated that the systematic integration of information technology in the processes relating to development planning, environmental management and disaster risk reduction will assist in understanding vulnerability as a multi-faceted phenomenon. Therefore, and in the light of the above discussion, the problem under investigation is the integration of development planning, environmental management and disaster risk management into a GIS-based data model that captures the relationships between anthropological and ecological entities in an interrelated database, which will be useful to analyse vulnerability in various facets.

1.2.2 Key research questions

With reference to the problem statement above, the research will aim to answer the following key research questions:

• What is the theoretical grounding of development management, environmental management, disaster risk reduction and GIS?

• What common focus areas in development management, environmental management and disaster risk reduction can be identified?

• What is model development and data modelling in GIS?

• What is the entry point for development management, environmental management and disaster risk reduction to be integrated in a data model for vulnerability reduction?

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• What would a GIS-based data model for vulnerability reduction entail?

• What recommendations can be made for the implementation of a GIS-based data model for vulnerability reduction?

1.3 RESEARCH OBJECTIVES

The primary objective of the study is to develop a GIS-based data model that will be useful in development planning, environmental management and disaster risk management. A specific focus is vulnerability, as it is influenced by policy and patterns in each of these fields. The application of the model must be useful particularly in respect of vulnerability reduction.

To reach this objective, a sequence of secondary objectives is identified which expands the research topic into its underlying ontologies:

i. Define and investigate the theoretical grounding of development management, environmental management, disaster risk reduction and geographical information systems.

ii. Identify the common focus areas in development management, environmental management and disaster risk reduction.

iii. Describe model development and data modelling in GIS.

iv. Determine the entry point for development management, environmental management and disaster risk reduction to be integrated in a data model for vulnerability reduction.

v. Provide recommendations for the implementation of a GIS-based data model for vulnerability reduction.

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1.4 CENTRAL THEORETICAL STATEMENT

This study looks at GIS as an overarching technology that supports development planning, environmental management and disaster risk management. The following theoretical statements that reflect views in these disciplines guide this study:

i. Disaster risk management is a multi-disciplinary field that is influenced by disciplines such as environmental management and development planning (McEntire, 2004; Randolph, 2004; Haigh & Anaratunga, 2010; Van Niekerk, 2010). ii. Vulnerability is a complex aspect. In trying to understand this complex system, a need for analysis arises which should bring together different interactions between man, nature and society (Trim, 2004).

iii. Information is one of the elements that bring together the various disciplines that are implied in disaster risk management by explaining the interactions between man and the environment from within these disciplines (Haigh & Anaratunga, 2010; Charlton & Andras, 2003).

iv. A clear understanding of the perspectives and problems of these disciplines is imperative for successful implementation of GIS technology. A GIS paradigm built around these concepts and perspectives would enable systems that deliver the power of GIS technology to the end user (Van Deursen et al., 2000).

v. The implementation of risk reduction policies requires interdisciplinary strategies, tools and approaches to ensure proper management and resourcing of pre-disaster, disaster and post-disaster efforts. There are strong calls for interdisciplinary solutions to address the many and varied challenges that disasters create (Haigh & Amaratunga, 2010).

vi. Information is fundamental to any system, irrespective of the discipline (Shastri, Diwekar & Cabezas, 2008).

vii. The integration of environmental and social considerations is a challenge that requires the development of methods, processes and data streams to create capacity for sustainable development, with the aim of reducing vulnerability.

viii. Apart from vulnerability, there are a variety of other topics that have a bearing on or a relation to disasters, such as attitudes about development and record keeping (McEntire, 2008). Record keeping can include any aspect of development or disaster events.

ix. Research that goes beyond disciplinary boundaries is core to understanding linked phenomena, and to informing policy and management settings (Dovers, 2005).

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1.5 RESEARCH METHOD

A qualitative research design is used to conduct the present research as it is useful in exploring processes and links. This approach helps to interpret and better understand the complex reality of how development planning, environmental management reduction and disaster risk management are interlinked with one another. The design includes a literature study and an empirical study, and is briefly highlighted as follows (the reader is also referred to Figure 1.4 which gives a diagrammatic overview of the research method):

1.5.1 Literature study

A variety of literature is studied as the primary data source for this research. It includes books, academic articles, reports, conference proceedings and research reports or document that are focused on the theory of development planning, environmental management and disaster risk management. The purpose of the literature study is to discover commonalities between these disciplines and to identify interrelationships, as these are central to the research topic.

1.5.2 Empirical study

A synthesis of the literature study highlights commonalities and interrelationships between development planning, environmental management and disaster risk management (Chapters 6 and 7). By applying principles of database theory (described in Chapter 5), a GIS-based data model is developed and tested in a case study. The method for constructing the data model is based on grounded theory and described in the following paragraphs.

1.5.2.1 Content analysis

Content analysis is the main empirical method employed in this study. It is a research technique that can be applied to data derived from texts for making replicable and valid inferences in the context of the text (Krippendorff, 2004). Content analysis helps to analyse data within a specific context, in view of the meanings that are attributed to it by a person or a group. Theories for development planning, environmental management and disaster risk management have developed over a relatively short period of time, and are marked by changes and differences (Chapters 2, 3 and 4). Content analysis will not only

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help to identify the commonalities in these fields and explore their interrelationships, but will also be used together with grounded theory to develop a data model (Chapter 8).

1.5.2.2 Grounded theory

Grounded theory is a pre-eminent qualitative research method that comprises a systematic yet flexible approach for collecting and analysing data with the aim of constructing theories grounded in the data itself. This method allows for constant interaction between data collection and analysis, with each process informing the other, thereby making the collected data more focused and the analysis more theoretical (Bryant & Charmaz, 2007:1).

Grounded Theory approaches are evident in research literature regarding information systems, because the method is useful in developing context-based, process-oriented descriptions and explanations (Myers, 1997). The core of Grounded Theory is in the analysis and search for patterns in the data. By identifying unique properties in each of the interest fields (development planning, environmental management and disaster risk management), an inductive strategy is applied to arrive at a synthesis of relating patterns in the data, which are ultimately presented in a model. This study entails an analysis of processes, procedures, legislation and information requirements across three disciplines, and is aimed at the identification of similar patterns and trends in each, specifically with regard to the use of information and the implementation of GIS.

1.5.2.3 Development of a GIS-based data model

Based on the need for resolving spatial relationships among geographic entities, this study presents a GIS-based data model that is grounded in database theory that will be able to identify such relationships. By using this model, areas characterised by development pressure, environmental sensitivity and disaster risk can be identified and mapped based on the intricate relationships between geographical objects that constitute anthropological and environmental entities.

1.5.2.4 Case study

A case study is presented to test the data model. It involves the development and implementation of a GIS project by identifying an appropriate study area and creating a spatial database that incorporates the model. The selected study area represents an

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area in Richards Bay that is characterised by development pressure, environmental sensitivity and communities’ vulnerability to flooding. The GIS database consists of existing data, as well as a land cover-based dataset of spatial objects created for the purpose of the study. By manipulating variables in the model, the researcher demonstrates how different scenarios of vulnerability can be simulated without changing the spatial data. Maps generated from spatial queries are included to illustrate the functioning of the model.

1.5.3 In-depth interviews

As a professional GIS Science Practitioner, the researcher is involved in multi-disciplinary projects on a daily basis. His specialisation is in development planning, environmental management and disaster risk management. During the course of this study he took the opportunity to conduct in-depth interviews with professionals working in these fields and to extract from their knowledge and experience. The information gained could be applied to

i. triangulate findings from the literature study,

ii. determine the professionals’ perceptions on the use of GIS in their respective fields, and

iii. test the applicability of the data model in the field.

Following a deductive approach, the research method is applied to develop a GIS-based model based on the commonalities extracted from development planning, environmental management and disaster risk management theories. These were applied according to database principles that were extracted from the information systems theory. The reader is next referred to Figure 1.4 which gives a visual presentation of the development of chapters in this report.

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Figure 1.4: A structural layout of the study method

1.6 CONTRIBUTION MADE BY THE STUDY

The orientation sketch above indicates that there is a strong link between the disciplines of development planning, environmental management and disaster risk management. The study provides a GIS-based data model for integrated database development, taking into account the vulnerability of communities, the sensitivity of the environment and the pressures of development in a sustainable planning context. The model is practical in nature and can be used by practitioners in development planning, environmental management and disaster risk management alike. It can also be incorporated in the day-to-day functioning of government departments, municipal offices and other institutions where information systems for disaster risk management are being used – specifically where work is focused on the reduction of vulnerability. The study will therefore add value to the body of knowledge within the disaster risk management fraternity and also inform international best practices in so far as supranational disaster risk reduction measures are concerned. This study will therefore contribute significantly to the integration of disaster risk management, environmental management and development planning by developing a GIS-based data model that provides a platform for the integration of these disciplines in a practical manner.

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In the end, the study may provide impetus towards further research, as it presents a framework for integration whereby inter- and intradisciplinary approaches can be facilitated.

1.7 CHAPTERS IN THE STUDY

The study is structured into nine chapters that render a thematic exposition of the topic. The diagram in Figure 1.5 provides a graphical overview of the structure of the study. The theme and purpose of each chapter is briefly indicated and discussed below:

Chapter 1 introduces the reader to the problem statement, key research questions, as well as aim and objectives of this study. The idea and motivation for the study is explained by placing development planning, environmental management and disaster risk management into context. The research methodology is outlined and the contribution of this study to the body of knowledge in the field of development management is described.

A theoretical grounding of the study is developed through examining three interrelated disciplines: development planning, environmental management and disaster risk management. Underlying these, is geographic information systems which, as a fourth discipline, provides further grounding to this study. To effectively explore the theoretical aspects that contributed to each field, their historical development and theoretical models are described in three separate and consecutive chapters. Development planning is explored in Chapter 2, environmental management in Chapter 3, disaster risk management in Chapter 4, and geographic information systems in Chapter 5.

Chapters 6 and 7 are aimed at finding commonalities among development planning, environmental management and disaster risk management. Chapter 6 focuses on frameworks and models that have been developed in these three disciplines and provides a bridge to the development of a data model that can integrate them. Chapter 7 serves to identify the commonalities between the three disciplines and provides a framework for the model to be developed in the next chapter.

Chapter 8 provides a background to the concept of data models and describes the development of a GIS-based data model that integrates development planning, environmental management and disaster risk reduction on the grounds of spatial relationships.

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The study is concluded with Chapter 9 which presents conclusions and recommendations for further studies.

Figure 1.5 A structural layout of the study illustrating the development of chapters

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1.8 CONCLUSION

Chapter 1 provided an overview of the background to the study and explained the reason for the author’s interest in the research. An orientation towards and the key concepts of the four disciplines included in the study were followed by a statement of the research problem. The central theoretical statements that will guide this study were listed and the research method described in detail. A number of diagrams were used to give a visual representation of the research focus, the study method and the development of chapters.

A clear understanding of the relationship between development planning, environmental management and disaster risk management is important to deduce common aspects between these fields. The spatial context of these commonalities provides further insight into the requirements for a GIS-based data model, which in turn is informed by GIS science theory. An in-depth study of the underlying theories is undertaken and described in the four chapters that follow, starting with development planning in Chapter 2.

Vulnerability as a multi-faceted phenomenon : a GIS-based data model for integrated development planning, environmental management and disaster risk reduction